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Ameriprise Financial executive William Jerryl Williams filed an initial ownership report showing direct holdings of 17,242.926 shares of common stock. He also holds 15,115.4173 units of phantom stock, payable in Ameriprise common shares, and several employee stock options covering tens of thousands of shares at exercise prices between $126.89 and $543.36 per share, with expirations from 2029 through 2036. Footnotes explain that some options vest in three annual installments and that each phantom stock unit represents one share of Ameriprise common stock under the company’s deferred compensation plan.
Ameriprise Financial’s Executive Vice President of Human Resources, Kelli A. Hunter Petruzillo, filed an initial Form 3 showing her equity interests in the company. She reports 4,099 shares of Ameriprise common stock held directly, plus an estimated 249.701 shares held indirectly through the Ameriprise Financial Stock Fund in the company’s 401(k) plan as of June 9, 2026.
She also holds 1,316.417 phantom stock units, each representing the right to receive one share of Ameriprise common stock, generally payable after employment ends or in a specified future year under the Ameriprise Financial Deferred Compensation Plan. In addition, she has vested and unvested employee stock options covering 2,486 shares at an exercise price of $532.18 expiring on February 3, 2036, 1,957 shares at $543.36 expiring on February 1, 2035, 1,630 shares at $391.40 expiring on January 27, 2034, and 921 shares at $344.45 expiring on January 28, 2033, reflecting a significant portion of her compensation tied to Ameriprise’s long-term stock performance.
Ameriprise Financial, Inc. issued $300,000,000 of 4.800% Senior Notes due 2031 and $450,000,000 of 5.350% Senior Notes due 2036. These notes were sold to underwriters led by BofA Securities, Citigroup Global Markets, and J.P. Morgan Securities under an underwriting agreement dated June 4, 2026.
The notes were offered using a prospectus supplement dated June 4, 2026 to a February 23, 2024 prospectus, both under the company’s shelf registration statement on Form S-3. Related documents, including the forms of the notes, the underwriting agreement, and a legal opinion from Faegre Drinker Biddle & Reath LLP, were filed as exhibits.
Ameriprise Financial, Inc. is offering $300,000,000 of 4.800% Senior Notes due 2031 and $450,000,000 of 5.350% Senior Notes due 2036.
The notes are unsecured senior obligations that will rank equally with Ameriprise’s other unsecured senior debt and will be structurally subordinated to obligations of its subsidiaries. Interest on both series is payable semi-annually beginning December 15, 2026. Net proceeds are expected to be approximately $742,466,500 and will be used for general corporate purposes, which may include repayment of up to $500,000,000 of 2.875% Senior Notes due September 15, 2026. The notes will not be listed on any exchange and there is currently no public market for them.
Ameriprise Financial, Inc. is offering two series of unsecured senior notes, as described in this preliminary prospectus supplement dated June 4, 2026. The offering contemplates separate series of notes with semi‑annual interest payments and stated maturities; each series will be unsecured senior obligations and structurally subordinated to subsidiaries’ debt. The notes will be issued in minimum denominations of $2,000 and in book‑entry form through DTC. Net proceeds are to be used for general corporate purposes and may include repayment of the $500 million outstanding 2.875% Senior Notes due September 15, 2026. Interest will accrue from the original issue date, and the issuer may redeem notes prior to or after the par call dates at formulas tied to U.S. Treasury yields. The prospectus supplement incorporates by reference Ameriprise’s SEC reports, including the Annual Report on Form 10‑K for the year ended December 31, 2025, and the Quarterly Report on Form 10‑Q for the quarter ended March 31, 2026.
Ameriprise Financial’s asset management arm is undergoing a planned leadership transition. Columbia Threadneedle Investments announced that William Davies, Executive Vice President and Global Chief Investment Officer at Ameriprise and global chief investment officer at Columbia Threadneedle, will retire effective June 30, 2026, after 33 years with the firm.
William F. “Ted” Truscott, chief executive officer of Columbia Threadneedle, will serve as interim global chief investment officer from July 1, 2026 until a successor is appointed, while existing senior investment leaders and asset class heads maintain their current responsibilities. Columbia Threadneedle manages and advises $706 billion of assets as of March 31, 2026, supported by 2,200 people, including 550 investment professionals across North America, Europe and Asia.
Ameriprise Financial EVP Gerard P. Smyth reported a combination of option exercise, tax withholding, and share sale. On May 14, 2026, he exercised 2,221 Employee Stock Options at $165.41 per share, converting them into common stock. On the same day, he sold 6,255 shares of common stock in an open-market sale at a weighted average price of $472.5191 per share, with sale prices ranging from $472.19 to $472.7551 per share. In a separate transaction, 1,437 shares were disposed of to cover tax liabilities at $471.22 per share. Following these transactions, Smyth directly owns 6,103 shares of Ameriprise common stock.
Ameriprise Financial Inc. files a Form 13F reporting institutional holdings. The filing states a Form 13F Information Table entry total of 11,197 and a reported aggregate market value of $431,759,920,597. The submission lists 12 other included managers and provides standard cover-page attestations.
The report is a 13F Combination Report, indicating some holdings are reported here and some by other managers. The filing is a routine institutional holdings disclosure and does not by itself indicate trading intent or transaction details.
Ameriprise Financial, Inc. submitted a Form 144 notice relating to proposed sales of Common Stock tied to vesting of compensatory equity awards and the net exercise of non-qualified stock options.
The filing lists line items including 5,471 shares (vesting/compensatory award) and 784 shares (net exercise) and notes 89,897,084 shares outstanding as of 05/14/2026.
Ameriprise Financial director Robert Francis Sharpe Jr. reported an indirect open-market sale of 1,200 shares of common stock at $465.83 per share by a trust for a family member. After this transaction, that trust held 6,300 shares. Additional reported holdings were 3,625 shares held directly, 1,650 shares held by an irrevocable trust for a family member, and 202 shares held by his revocable trust.